FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 5 contracts
Samples: Securities Purchase Agreement (SOS LTD), Securities Purchase Agreement (SOS LTD), Securities Purchase Agreement (SOS LTD)
FINRA Affiliation. No To the knowledge of the Company, no officer, director or any beneficial owner of 510% or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member of the Financial Industry Regulatory Authority (“FINRA”) (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringthis offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement Registration Statement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the this offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ss) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Agent’s Counsel if it learns that any officer, director or owner of 510% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Kaival Brands Innovations Group, Inc.), Securities Purchase Agreement (Kaival Brands Innovations Group, Inc.), Securities Purchase Agreement (Kaival Brands Innovations Group, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member of the Financial Industry Regulatory Authority (“FINRA”) (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Blank Rome if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 5 contracts
Samples: Securities Purchase Agreement (Wisa Technologies, Inc.), Securities Purchase Agreement (Wisa Technologies, Inc.), Securities Purchase Agreement (Wisa Technologies, Inc.)
FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSsshares of Common Stock or Common Stock Equivalents, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No Except as set forth in the Registration Statement the General Disclosure Package and Prospectus, no proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(pp) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Lucosky Bxxxxxxx LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 4 contracts
Samples: Underwriting Agreement (Worksport LTD), Underwriting Agreement (Worksport LTD), Underwriting Agreement (Worksport LTD)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration StatementProspectus, Prospectus and Prospectus Supplement and except the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representatives or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representatives as disclosed in the Prospectus Supplementand securities sold by the Representatives on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(jj) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 3 contracts
Samples: Underwriting Agreement (AMEDICA Corp), Underwriting Agreement (AMEDICA Corp), Underwriting Agreement (AMEDICA Corp)
FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member of the Financial Industry Regulatory Authority (“FINRA”) (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringthis offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA membermember participating in this offering, any persons associated with a FINRA member participating in this offering or an affiliate of a FINRA membermember participating in this offering. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement Registration Statement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the this offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(qq) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Agent’s Counsel if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firmfirm participating in this offering.
Appears in 3 contracts
Samples: Securities Purchase Agreement (Edible Garden AG Inc), Securities Purchase Agreement (Edible Garden AG Inc), Securities Purchase Agreement (Edible Garden AG Inc)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member of the Financial Industry Regulatory Authority (“FINRA”) (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringthis offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Registration Statement and the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement Registration Statement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the tise offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(qq) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Xxxx if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Securities Purchase Agreement (SOS LTD), Securities Purchase Agreement (SOS LTD)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Color Star Technology Co., Ltd.), Securities Purchase Agreement (Color Star Technology Co., Ltd.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and Loeb if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, the Preliminary Prospectus and Prospectus Supplement and except or the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule A hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(kk) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Loeb if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Underwriting Agreement (Indonesia Energy Corp LTD), Underwriting Agreement (Indonesia Energy Corp LTD)
FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any member of FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm2(aaa) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and HSE if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Placement Agency Agreement (Helius Medical Technologies, Inc.), Placement Agency Agreement (Helius Medical Technologies, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Gracin & Mxxxxx, LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Underwriting Agreement (VerifyMe, Inc.), Underwriting Agreement (VerifyMe, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of To the Company’s ADSsknowledge, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any , and except as may otherwise be disclosed in FINRA member (as determined in accordance with questionnaires provided to the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open marketUnderwriters’ Counsel, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule 1 hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, to the Company’s knowledge no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Underwriters’ Counsel if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Underwriting Agreement (Alset EHome International Inc.), Underwriting Agreement (Alset EHome International Inc.)
FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares outstanding shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Registration Statement, Preliminary Prospectus Supplement to and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Other than the 392,700 shares (on a pre-split basis) of Common Stock issued to the Representative pursuant to the Advisory Agreement, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the commencement of sales of the Securities in connection with the Offering. Except as disclosed in the Registration Statement, Preliminary Prospectus and Prospectus Supplement the Prospectus, and except for securities sold by the Representative on behalf of the Company and the shares of Common Stock issued to the Placement Agent as disclosed in Representative pursuant to the Prospectus SupplementAdvisory Agreement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date commencement of the Prospectus Supplement sales of the Securities in connection with the Offering is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ll) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and DW if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Underwriting Agreement (Blue Star Foods Corp.), Underwriting Agreement (Blue Star Foods Corp.)
FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and G&M if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Underwriting Agreement (Summit Wireless Technologies, Inc.), Underwriting Agreement (Summit Wireless Technologies, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) Shares will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Purchasers if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Securities Purchase Agreement (Capital Vista LTD), Securities Purchase Agreement (UTime LTD)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of To the Company’s ADSsknowledge, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any and except as may otherwise be disclosed in FINRA member (as determined in accordance with questionnaires provided to the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open marketUnderwriter’s Counsel, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Underwriter within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Underwriter as disclosed in the Prospectus Supplementand securities sold by the Underwriter on behalf of the Company, to the Company’s knowledge no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Underwriter and Underwriter’s Counsel if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 2 contracts
Samples: Underwriting Agreement (Sunshine Biopharma, Inc), Underwriting Agreement (Sunshine Biopharma, Inc)
FINRA Affiliation. No officer, director or any beneficial owner of 5% ten percent (10%) or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities Public Shares (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% ten percent (10%) or more of the Company’s outstanding subordinated debt or common equity, or 5% ten percent (10%) or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(nn) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Fox Rothschild if it learns that any officer, director or owner of 5% ten percent (10%) or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director director, or any beneficial owner of 510% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Xxxx if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of five percent (5% %) or more of the Company’s ADSs, Ordinary Common Shares or Ordinary Common Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own five percent (5% %) or more of the Company’s outstanding subordinated debt or common equity, or five percent (5% %) or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(pp) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Fox Rothschild if it learns that any officer, director or owner of five percent (5% %) or more of the Company’s outstanding ADSs, Ordinary Common Shares or Ordinary Common Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, to the Company’s knowledge, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No To the Company’s knowledge, no Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “”Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS HTFL if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
Samples: Securities Purchase Agreement (It Tech Packaging, Inc.)
FINRA Affiliation. No officer, director or or, to our knowledge, any beneficial owner of 5% or more of the Company’s ADSsshares of Common Stock or Common Stock Equivalents, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(pp) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Lucosky Bxxxxxxx LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representatives or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representatives as disclosed in the Prospectus Supplementand securities sold by the Representatives on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(qq) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representatives and Representatives’ Counsel if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration StatementProspectus, Prospectus and Prospectus Supplement and except the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representatives or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representatives as disclosed in the Prospectus Supplementand securities sold by the Representatives on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, to the Company’s knowledge, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No To the Company’s knowledge, no Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS HTFL if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
Samples: Securities Purchase Agreement (Recon Technology, LTD)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and MW if it learns that any officer, director or owner of 5% or more of the Company’s outstanding Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration StatementProspectus, Prospectus and Prospectus Supplement and except the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(kk) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and MW if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities Shares (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Loeb if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% (to the knowledge of the Company with respect to such 5% or more beneficial owner) or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any member of FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Xxxxxxxx & Worcester LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
Samples: Securities Purchase Agreement (Allarity Therapeutics, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents 's unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company's outstanding Common Shares or Common Shares Equivalents is or becomes an affiliate or associated person of a FINRA member firm. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Registration Statement, the Prospectus, and the Prospectus Supplement to the Placement AgentSupplement) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and the Prospectus Supplement and except Supplement, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand the Prospectus Supplement and securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “"conflict of interest” " exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 510% or more of the Company’s 's outstanding subordinated debt or common equity, or 510% or more of the Company’s 's preferred equity. “"FINRA member participating in the offering” Offering" includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s 's immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “"Any person associated with a FINRA member” " means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ll) the term “"affiliate of a FINRA member” " or “"affiliated with a FINRA member” " means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 510% or more of the Company’s 's outstanding ADSs, Ordinary shares of Common Shares or Ordinary Share Common Shares Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representatives and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Registration Statement, the Prospectus, and any Prospectus Supplement to the Placement AgentSupplement) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and any Prospectus Supplement Supplement, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representatives or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement and except for securities issued to the Placement Agent Representatives as disclosed in the Prospectus and any Prospectus Supplement, and securities sold by the Representatives on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(oo) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representatives and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or or, to our knowledge, any beneficial owner of 5% or more of the Company’s ADSsshares of Common Stock or Common Stock Equivalents, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(pp) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Lucosky Xxxxxxxx LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more The undersigned represents and warrants that the information set forth below in response to the questions regarding FINRA affiliation is accurate and complete.
(a) Is the undersigned a member of the Company’s ADSsFINRA1, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons person associated with a FINRA member member2 of the FINRA, or an affiliate of a member? Yes ______ No ______ If "Yes," please list all members of the FINRA with whom the undersigned is associated or affiliated The FINRA defines a "member. Except " as disclosed being any broker or dealer admitted to membership in the Registration StatementFINRA, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities or any officer or partner of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is such a FINRA member, is or the executive representative of such a member or the substitute for such representative. The FINRA defines a "person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a " as being every sole proprietor, general or limited partner, officer, director, director or branch manager of a FINRA such member, or other any natural person occupying a similar status or performing similar functions, or a any natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA membersuch member (for example, any employee), whether or not any such person is registered or exempt for registration with the FINRA. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated Thus, "person associated with a FINRA member” means an entity that controls" includes a sole proprietor, is controlled by general or is under common control with a FINRA member. The Company will advise the EGS if it learns that any limited partner, officer, director or owner branch manager or an organization of any kind (whether a corporation, partnership or other business entity) which itself is a "member" or a "person associated with a member." In addition, an organization of any kind is a "person associated with a member" if its sole proprietor or anyone of its general or limited partners, officers, director or branch managers is a "member" or "person associated with a member."
(b) If the undersigned is a corporation, are any of its officers, directors or 5% or more shareholders a member of the Company’s outstanding ADSsFINRA, Ordinary Shares a person associated with a member of the FINRA, or Ordinary Share Equivalents is or becomes an affiliate or associated person of a member? Yes ______ No ______ If "Yes," please list the name of each such officer, director or 5% shareholder and all members of the FINRA member firmwith whom they are associated or affiliated.
Appears in 1 contract
Samples: Subscription Agreement (SRKP 16 Inc)
FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSsCommon Stock or Common Stock Equivalents, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No Except as set forth in the Registration Statement and Prospectus, no proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(pp) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Underwriter Counsel if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Common Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(oo) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Blank Rome LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares or Ordinary Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
Samples: Underwriting Agreement (Innovation Beverage Group LTD)
FINRA Affiliation. No officer, director or any beneficial owner of 510% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) 3.1(uu), the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Xxxxxxxx & Worcester LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of five percent (5% %) or more of the Company’s ADSs, Ordinary Common Shares or Ordinary Common Share Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own five percent (5% %) or more of the Company’s outstanding subordinated debt or common equity, or five percent (5% %) or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(oo) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Fxx Rxxxxxxxxx if it learns that any officer, director or owner of five percent (5% %) or more of the Company’s outstanding ADSs, Ordinary Common Shares or Ordinary Common Share Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares outstanding shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Registration Statement, Preliminary Prospectus Supplement to and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Other than the 1,015,393 shares (on a pre-split basis) of Common Stock issued to the Representative pursuant to the Advisory Agreement, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the commencement of sales of the Securities in connection with the Offering. Except as disclosed in the Registration Statement, Preliminary Prospectus and Prospectus Supplement the Prospectus, and except for securities sold by the Representative on behalf of the Company and the shares of Common Stock issued to the Placement Agent as disclosed in Representative pursuant to the Prospectus SupplementAdvisory Agreement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date commencement of the Prospectus Supplement sales of the Securities in connection with the Offering is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ll) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and S&W if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
Samples: Underwriting Agreement (Gaucho Group Holdings, Inc.)
FINRA Affiliation. No To the Company’s knowledge, no officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, to the Company’s knowledge, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No To the Company’s knowledge, no Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement Registration Statement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent as disclosed in the Prospectus SupplementRegistration Statement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement Registration Statement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS HTFL if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
Samples: Securities Purchase Agreement (It Tech Packaging, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSsshares of Common Stock or Common Stock Equivalents, Ordinary Shares or Ordinary Share Equivalents other than Air Lease Corporation (as to which the Company has no knowledge) has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration StatementProspectus, Prospectus and Prospectus Supplement and except the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representatives or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representatives as disclosed in the Prospectus Supplementand securities sold by the Representatives on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(kk) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Sxxxxxxx if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities Public Shares (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and Gracin & Xxxxxx, LLP if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Prospectus, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement Statement and except for securities issued to the Placement Agent Representative as disclosed in the Prospectus Supplementand securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ll) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
Appears in 1 contract
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any member of the FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offeringoffering of the Shares. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities Shares (excluding compensation as disclosed in the Prospectus Supplement to the Placement AgentAgents) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus Statement and Prospectus Supplement and except for securities issued to the Placement Agent Agents as disclosed in the Prospectus SupplementProspectus, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(rr) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agents and Blank Rome if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
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FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares or Ordinary Share Equivalents unregistered securities has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding shares of Common Stock or Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities Public Shares (excluding underwriting compensation as disclosed in the Registration Statement, the Prospectus, and the Prospectus Supplement to the Placement AgentSupplement) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and the Prospectus Supplement and except Supplement, the Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the Prospectus. Except for securities issued to the Placement Agent Representative, if any, as disclosed in the Prospectus Supplementand the Prospectus Supplement and securities sold by the Representative on behalf of the Company, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ll) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the Representative and EGS if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
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Samples: Underwriting Agreement (VistaGen Therapeutics, Inc.)
FINRA Affiliation. No officer, director or any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities (excluding compensation as disclosed in the Prospectus Supplement to the Placement Agent) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. Except as disclosed in the Registration Statement, Prospectus and Prospectus Supplement and except for securities issued to the Placement Agent as disclosed in the Prospectus Supplement, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No FINRA member participating in the offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offering” includes any associated person of a FINRA member that is participating in the offering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Placement Agent and Xxxx if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares Common Stocks or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
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FINRA Affiliation. No officer, director or or, to the Company’s knowledge, any beneficial owner of 5% or more of the Company’s ADSs, Ordinary Shares outstanding shares of Common Stock or Ordinary Share Common Stock Equivalents has any direct or indirect affiliation or association with any FINRA member (as determined in accordance with the rules and regulations of FINRA) that is participating in the Offering. Except for securities purchased on the open market, no Company Affiliate is an owner of stock or other securities of any member of FINRA. No Company Affiliate has made a subordinated loan to any member of FINRA. No proceeds from the sale of the Securities Shares (excluding underwriting compensation as disclosed in the Prospectus Supplement to Registration Statement and the Placement AgentProspectus) will be paid to any FINRA member, any persons associated with a FINRA member or an affiliate of a FINRA member. The Company has not issued any warrants or other securities or granted any options, directly or indirectly, to the Representative or any of the Underwriters named on Schedule I hereto within the 180-day period prior to the initial filing date of the prospectus supplement filed in connection with the Offering. Except as disclosed in the Registration Statement, Statement and the Prospectus and Prospectus Supplement and except for securities issued to sold by the Placement Agent as disclosed in Representative on behalf of the Prospectus SupplementCompany, no person to whom securities of the Company have been privately issued within the 180-day period prior to the initial filing date of the Prospectus Supplement such prospectus supplement is a FINRA member, is a person associated with a FINRA member or is an affiliate of a FINRA member. No To the Company’s knowledge, no FINRA member participating in the offering Offering has a conflict of interest with the Company. For this purpose, a “conflict of interest” exists when a FINRA member, the parent or affiliate of a FINRA member or any person associated with a FINRA member in the aggregate beneficially own 5% or more of the Company’s outstanding subordinated debt or common equity, or 5% or more of the Company’s preferred equity. “FINRA member participating in the offeringOffering” includes any associated person of a FINRA member that is participating in the offeringOffering, any member of such associated person’s immediate family and any affiliate of a FINRA member that is participating in the offeringOffering. “Any person associated with a FINRA member” means (1) a natural person who is registered or has applied for registration under the rules of FINRA and (2) a sole proprietor, partner, officer, director, or branch manager of a FINRA member, or other natural person occupying a similar status or performing similar functions, or a natural person engaged in the investment banking or securities business who is directly or indirectly controlling or controlled by a FINRA member. When used in this Section 3.1(mm3.1(ll) the term “affiliate of a FINRA member” or “affiliated with a FINRA member” means an entity that controls, is controlled by or is under common control with a FINRA member. The Company will advise the EGS Representative and S&W if it learns that any officer, director or owner of 5% or more of the Company’s outstanding ADSs, Ordinary Shares shares of Common Stock or Ordinary Share Common Stock Equivalents is or becomes an affiliate or associated person of a FINRA member firm.
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